DAOD 6001-1, Information Management Programme
Table of Contents
Date of Issue: 2013-03-14
Date of Last Modification: 2022-02-08
Application: This DAOD is a directive that applies to employees of the Department of National Defence (DND employees) and an order that applies to officers and non-commissioned members of the Canadian Armed Forces (CAF members).
Supersession: DAOD 6421-0, Records Management
Approval Authority: Assistant Deputy Minister (Information Management) / Chief Information Officer (ADM(IM)/CIO)
Enquiries: Director Knowledge and Information Management (DKIM)
Set of values of objects with respect to qualitative or quantitative variables representing facts, statistics, or items of information in a formalized manner suitable for communication, reinterpretation, or processing. (Policy on Service and Digital, Treasury Board)
Note – In the DND and the CAF, data is created, collected and used both in military operations and exercises, and in corporate administrative processes.
The representation that a human or a machine assigns to data, facts or knowledge by means of known conventions such as reports, events, processes, decisions, ideas or opinions in any medium or form. (Defence Terminology Bank record number 696374)
information architecture (architecture de l’information)
The structure of the information and data components of an enterprise, their interrelationships, and principles and guidelines governing their design and evolution over time. Information architecture enables the sharing, reuse, horizontal aggregation, and analysis of information. (Policy on Service and Digital, Treasury Board
information asset (ressource d’information)
A body of information defined and managed as a single unit so the body of information can be understood, shared, protected and exploited effectively.
Note – An information asset has recognizable and manageable value, risk and content for DND business and CAF operations. (Defence Terminology Bank record number 696375)
information management (gestion de l’information)
A discipline that directs and supports the handling of information throughout its life cycle, including its planning, collection, organization, control, dissemination, use and disposition. (Defence Terminology Bank record number 42250)
information management functional specialist (spécialiste fonctionnel en gestion de l'information)
An individual who provides expert information management advice, monitoring and oversight to DND employees and CAF members. (Defence Terminology Bank record number 696376)
information management officer (officier de gestion de l’information)
An individual who is an information management functional specialist at the level one advisor, commander of command or other organizational level. (Defence Terminology Bank record number 696377)
transitory information (information éphémère)
Information that is required only for a limited time to complete an action or develop other information. (Defence Terminology Bank record number 696515)
3.1 Information management (IM) is the responsibility of every DND employee and CAF member to ensure the stewardship of all information with respect to DND business and CAF operations. ADM(IM)/CIO, in the role of the Defence CIO, leads strategic IM and ensures that IM is well-established by the delivery, on a timely basis, of secure and trusted information in support of effective and efficient decision-making.
3.2 This DAOD:
- outlines the principles, practices, supporting tools, governance, roles and responsibilities of the IM Programme required for strategic IM in the DND and the CAF; and
- sets the foundations for a sound and mature IM Programme that constantly enables the DND to meet its business objectives and the CAF to succeed in their operations.
3.3 Any information resulting from DND business or CAF operations, including government or institutional records from the office of the Minister, is the property of the DND and the CAF.
3.4 DND and CAF information, regardless of its medium or format, must be managed in accordance with this DAOD and other relevant instruments listed in the References section.
3.5 This DAOD should be read in conjunction with the DND and CAF IM and IT Policy Framework and other relevant policies, directives, instructions, standards and guidelines.
3.6 The objectives of this DAOD are to:
- set out IM principles for the DND and the CAF and enable their application; and
- establish the governance, roles and responsibilities for strategic IM in the DND and the CAF.
3.7 The expected results of this DAOD are the following:
- the implementation of effective IM practices derived from IM principles;
- the use of agile IM policy instruments, tools and services to meet DND business and CAF operational requirements; and
- the support of Government of Canada (GC) IM direction by the DND and the CAF.
4. Information Management Principles
4.1 This section sets out the eight key IM principles and associated practices required for effective and strategic DND and CAF IM. The eight principles are grouped into the following four categories:
- transparency and availability;
- integrity, protection, retention and disposition; and
4.2 All IM principles must be concurrently sustained and enabled by digital and client-centric approaches as described in paragraphs 4.25 to 4.27.
4.3 The accountability principle is met through the identification of clear roles and responsibilities for DND and CAF IM and the inclusion of IM governance in all aspects of DND business and CAF operations. This principle requires:
- a DND and CAF IM governance model;
- level one advisor (L1) information management officers (L1 IMOs);
- the Knowledge and Information Management Steering Committee (KIMSC); and
- other governance bodies with IM representatives.
4.4 Under the DND and CAF IM governance model, accountability is provided by:
- the Defence CIO who:
- acts as the functional authority for DND and CAF IM; and
- sets IM direction, oversight and guidance for DND and CAF organizations to ensure that information is managed as a strategic asset; and
- L1s and commanders of a command or formation who:
- are required to comply with Defence CIO direction with respect to IM;
- report their IM Programme progress; and
- develop amplifying IM policies, directives, instructions, standards and guidelines as required in their organizations.
4.5 An L1 or a commander of a command or formation must:
- appoint an L1 IMO who is responsible for coordinating IM activities in their organization; and
- establish and implement, within their organization, an IM governance structure that integrates the roles and responsibilities of their L1 IMO, other IMOs and other persons completing IM tasks within their organization in compliance with the DND and CAF IM governance model.
4.6 An L1 IMO:
- is a DND employee or CAF member at the L1 or commander of a command or formation level;
- is the primary point of contact within their area of responsibility on IM matters;
- provides IM guidance and oversight within their organization;
- recommends IM direction, procedures, services and training to the L1 or commander of their organization; and
- reports the IM Programme progress of their organization to DKIM.
4.7 The detailed responsibilities of an L1 IMO are set out in the Table to paragraph 7.1.
4.8 L1s, commanders of a command or formation, and commanding officers should appoint other IMOs in their organizations, as required, to closely collaborate with the L1 IMO for the completion of IM-related tasks.
4.9 The KIMSC:
- is established under the authority of the Defence CIO to:
- provide oversight, governance and guidance to the DND and CAF IM community; and
- advise the Defence CIO on IM requirements and provide recommendations;
- is comprised of IM representatives designated at the Director level or CAF equivalent for each DND and CAF L1 organization;
- is chaired by the DKIM Director;
- meets as required;
- is aligned with other governance bodies and supports DND and CAF overarching direction for the integrated management of service, information, data, information technology (IT) and cyber security; and
- may establish additional working groups, as required, to address IM issues and support the objectives of this DAOD.
4.10 L1 IMOs should participate as subject matter experts at the KIMSC but do not hold voting privileges unless they are the KIMSC representative designated for their organization.
4.11 The detailed responsibilities and the reporting structure of the KIMSC are set out in its terms of reference (TOR). A link to the TOR is provided in the References section.
4.12 Given that IM is an essential component of DND business and CAF operations, any governance body at which IM or the IM Programme is discussed must have an IM representative at the appropriate level to ensure that information is managed as a strategic asset.
Transparency and Availability
4.13 The transparency principle is met when DND business and CAF operations are conducted and documented in an open and verifiable manner while respecting security, privacy and legal requirements.
4.14 The availability principle is based on the ability of DND and CAF organizations to have access to timely, secure and trusted information.
4.15 Subject to security, privacy and legal requirements, L1s and commanders of a command or formation must ensure that:
- information is open by default to facilitate collaboration, use and reuse, and is shared to the greatest extent possible in the DND and the CAF, and with other government departments (OGDs) and agencies; and
- information assets eligible for public release are identified, including those under proactive disclosure, and released in a timely manner through the GC Open Government Portal website.
Note – In this DAOD, “information assets”:
- have the same meaning as ‘‘information resources of business value’’ in the Policy on Making Holdings Available of the Library and Archives Canada (LAC);
- are considered to be ‘‘information of business value’’ as used in the Directive on Service and Digital of the Treasury Board (TB); and
- do not include transitory information.
4.16 Information must be created in an accessible format, as appropriate, in accordance with the Accessible Canada Act, and any other relevant GC, DND and CAF policies, directives, instructions, standards and guidelines.
4.17 L1s and commanders of a command or formation must ensure that their organizations:
- maximize the removal of access restrictions on information of archival value prior to its transfer to LAC as part of disposition activities; and
- design, develop and implement designated corporate repositories in compliance with paragraph 4.15.
4.18 L1s and commanders of a command or formation must ensure that the requirements established in paragraphs 4.15 to 4.17 are integrated in any new plan for procuring, designing, developing or modernizing DND and CAF information applications, systems, processes or solutions in support of the delivery of programmes, services and operational objectives.
Integrity, Protection, Retention and Disposition
4.19 The integrity principle is met when information assets have an assurance of authenticity and reliability. Any alteration to information assets must be traceable.
4.20 The protection principle is met when L1s and commanders of a command or formation ensure that all DND and CAF information in their organizations:
- receives the appropriate level of protection;
- is safeguarded, labelled, handled and stored in accordance with DND and CAF protection measures; and
- is guarded against unauthorized access, disclosure or destruction in accordance with DND and CAF policies, directives, instructions and standards, including consideration for:
- security of information;
- legal, regulatory and privacy risks; and
- access to information and protection of personal information requirements.
4.21 The retention and disposition principles are met when L1s and commanders of a command or formation ensure that all DND and CAF information in their organizations is:
- retained based only on legal, business and operational requirements and its archival value; and
- regularly disposed of in accordance with established retention periods applicable to DND and CAF information.
4.22 Information of archival value must be transferred to LAC.
4.23 L1s and commanders of a command or formation must adopt the following practices to support the integrity and protection of information, and retention and disposition activities:
- information assets are:
- identified based on the analysis of the functions and activities carried out by the DND and the CAF to enable and support their legislated mandate;
- managed, regardless of medium or format, throughout their life cycle;
- created, stored, transferred and managed in DND and CAF designated corporate repositories, in compliance with security, privacy and legal requirements;
- organized logically and systematically according to established DND and CAF enterprise architecture or classification structures; and
- transitory information is disposed of when it is no longer required, in compliance with IM, security, privacy and legal requirements and procedures.
4.24 The compliance principle is met by L1s and commanders of a command or formation ensuring that the IM principles, practices, roles and responsibilities described in this DAOD are implemented in compliance with applicable laws, and GC, DND and CAF policies, directives, instructions and standards.
4.25 L1s and commanders of a command or formation must ensure that digital systems and tools are adopted, and that the usage of paper-based processes are reduced to the greatest extent possible when managing information in their organizations. This includes:
- primarily adopting a digital approach when designing, developing and implementing new processes, tools, services and practices, in compliance with IM, security, privacy and legal requirements; and
- elaborating a justification to be submitted as part of the architecture review process when new processes, tools, services are enabled by a different approach than digital.
4.26 IM policy instruments, services and tools must be designed and implemented to support DND business, CAF operations and L1 organizations in a centralized manner, with particular attention on being inclusive and accessible while meeting GC security, legal, privacy and official language requirements.
4.27 Any approved enterprise IM solution, used to document DND and CAF activities, decisions and decision-making processes, must be aligned with the GC enterprise IM solution. The approved enterprise IM solution must:
- be implemented based on business and operations requirements; and
- take an iterative and agile approach, incorporating user feedback and long-term retention requirements.
5. Supporting Tools
5.1 Subsection 12(1) of the Library and Archives of Canada Act provides that no government or ministerial record can be disposed of, including by being destroyed, without the written consent of the Librarian and Archivist or a person to whom the Librarian and Archivist has, in writing, delegated the power to give such consents.
5.2 In order to enable GC departments to carry out disposition activities, LAC issues disposition authorizations that delegate disposition authorities to individual departments.
5.3 The Defence Subject Classification and Disposition System (DSCDS) is the disposition authority that provides instructions and guidelines to the DND and the CAF to ensure that the retention and disposition of information assets is conducted in accordance with the Library and Archives of Canada Act.
5.4 The DSCDS has documented most disposition authorizations prevailing throughout the DND and the CAF. However, there are still complementary authorizations to the DSCDS that exist as individual disposition authorizations. These complementary authorizations are available in the LAC Records Disposition Authorities Control System.
5.5 Any changes or exemptions to current disposition authorizations or to the DSCDS must be approved by the Defence CIO and LAC.
Enterprise Information Architecture (EIA)
5.6 The EIA is a foundational information architectural artefact that permits the classification of information assets based on the functions and activities carried out by the DND and the CAF in support of their mandate.
5.7 The DSCDS and additional disposition authorizations complement the EIA and associate appropriate retention and disposition requirements for information assets.
5.8 L1s and commanders of a command or formation must ensure that their organizations:
- adopt the validated and approved EIA;
- collaborate with DKIM to align their repositories, tools, services and information structure with EIA;
- inform DKIM and DSCDS administrators of any new functions and activities carried out by their organizations; and
- review and endorse, if necessary, portions of the EIA that reflect their functions and activities for accuracy, relevance and representativeness.
5.9 The DSCDS information structure must be used as an interim solution to identify information until a validated and approved EIA has been formally endorsed and implemented.
5.10 Any changes or exemptions to the EIA must be approved by DKIM.
6. Compliance and Consequences
6.1 DND employees and CAF members must comply with this DAOD. Should clarification of the policies or instructions set out in this DAOD be required, DND employees and CAF members may seek direction through their channel of communication or chain of command, as appropriate. Managers and military supervisors have the primary responsibility for and means of ensuring the compliance of their DND employees and CAF members with this DAOD.
Consequences of Non-Compliance
6.2 DND employees and CAF members are accountable to their respective managers and military supervisors for any failure to comply with the direction set out in this DAOD. Non-compliance with this DAOD may have consequences for both the DND and the CAF as institutions, and for DND employees and CAF members as individuals. Suspected non-compliance may be investigated. Managers and military supervisors must take or direct appropriate corrective measures if non-compliance with this DAOD has consequences for the DND or the CAF. The decision of an L1 or other senior official to take action or to intervene in a case of non-compliance, other than in respect of a decision under the Code of Service Discipline regarding a CAF member, will depend on the degree of risk based on the impact and likelihood of an adverse outcome resulting from the non-compliance and other circumstances of the case.
6.3 The nature and severity of the consequences resulting from non-compliance should be commensurate with the circumstances of the non-compliance and other relevant circumstances. Consequences of non-compliance may include one or more of the following:
- the ordering of the completion of appropriate learning, training or professional development;
- the entering of observations in individual performance evaluations;
- increased reporting and performance monitoring;
- the withdrawal of any authority provided under this DAOD to a DND employee or CAF member;
- the reporting of suspected offences to responsible law enforcement agencies;
- the application of specific consequences as set out in applicable laws, codes of conduct, and DND and CAF policies and instructions;
- other administrative action, including the imposition of disciplinary measures, for a DND employee;
- other administrative or disciplinary action, or both, for a CAF member; and
- the imposition of liability on the part of Her Majesty in right of Canada, DND employees and CAF members.
Note – In respect of the compliance of DND employees, see the Treasury Board Framework for the Management of Compliance for additional information.
7.1 The following table identifies the responsibilities associated with this DAOD:
|The ...||is or are responsible for ...|
|L1s and commanders of a command or formation||
|managers and commanding officers||
|DND employees and CAF members||
Acts, Regulations, Central Agency Policies and Policy DAOD
- Access to Information Act
- Accessible Canada Act
- Financial Adminstration Act
- Library and Archives of Canada Act
- National Defence Act
- Official Languages Act
- Framework for the Management of Compliance, Treasury Board
- Policy on Government Security, Treasury Board
- Policy on Making Holdings Available, Library and Archives Canada
- Policy on Service and Digital, Treasury Board
- Directive on Service and Digital, Treasury Board
- Directive on Open Government, Treasury Board
- Standard for Electronic Documents and Records Management Solutions (EDRMS), Treasury Board
- Standard on Email Management, Treasury Board
- Standard on Metadata,Treasury Board
- Guideline for Employees of the Government of Canada: Information Management (IM) Basics, Treasury Board
- Guideline on Service and Digital, Treasury Board
- Guidelines on Managing Records in a Minister’s Office, Library and Archives Canada
- Information Management in a Minister’s Office, Treasury Board
- DAOD 6001-0, Information Management
- DAOD 6000-0, Information Management and Information Technology
- DAOD 6002-0, Information Technology
- DAOD 6003-0, Information Technology Security
- DAOD 6003-1, Information Technology Security Programme
- DAOD 6004-0, Defence Terminology
- DAOD 6500-0, Data Management and Analytics
- Defence Information Strategy
- DND and CAF IM and IT Policy Framework
- National Defence Security Orders and Directives
- Knowledge and Information Management Steering Committee Terms of Reference
- IM and IT DAOD, Standards and Guides, ADM(IM) intranet site
- IM and IT Policy Instrument Development, ADM(IM) intranet site
- Interim Directives, Instructions and Other Correspondence, ADM(IM) intranet site
- Open Government Portal website
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